October 2021 FINRA Disciplinary Actions
COURTNEY MICHELLE KAPLAN (CRD #5249375, PALM HARBOR, FLORIDA) September 30, 2021 – An AWC was issued in which Kaplan was barred from association with any …
FINRA Disciplinary Actions September 2021
SCOTT GEOFFREY MADISON (CRD #4323032, RIVERHEAD, NEW YORK) August 30, 2021 – An AWC was issued in which Madison was barred from association with any …
FINRA Disciplinary Actions August 2021
GLORIA JEAN WILLIS (CRD #4862077, CHICAGO, ILLINOIS) July 30, 2021 – An AWC was issued in which Willis was barred from association with any FINRA …
FINRA Disciplinary Action July 2021
MATTHEW R. LOGAN (CRD #5366984, MONTEPELIER, VERMONT) June 30, 2021 – An OHO decision became final in which Logan was barred from association with any …
A Timeline of Robinhood’s Legal and Regulatory Stumbles
Updated June 30, 2021. Robinhood, the stock trading startup valued at $11.7 billion, has seen as much volatility as the equities market it allows its …
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FINRA Disciplinary Actions June 2021
WILLIAM EDWARDS ELLIS (CRD #6770635, WESTLAKE, TEXAS) May 25, 2021 – An AWC was issued in which Ellis was barred from association with any FINRA …
FINRA Disciplinary Actions May 2021
CANDIDO JOSE VIYELLA (CRD #1829255 , MIAMI, FLORIDA) May 10, 2021 – An AWC was issued in which Viyella was barred from association with any …
FINRA Disciplinary Actions April 2021
CHARLES THOMAS STEVENS (CRD #1698058, ST. AUGUSTINE, FLORIDA) March 26, 2021 – An OHO decision became final in which Stevens was barred from association with …
FINRA Disciplinary Actions March 2021
BYRON PAT TREAT (CRD #1466393, AMARILLO, TEXAS) February26, 2021 – An AWC was issued in which Treat was barred from association with any FINRA member …
Robinhood Claims Now Under Investigation By Girard Bengali, APC
Girard Bengali, APC, a leading Los Angeles securities litigation law firm, has announced that it is investigating claims on behalf of Robinhood users that were …
Robinhood Claims Now Under Investigation By Girard Bengali, APC Read More »